Advisory Graduate - Regulatory Consulting

Overview

Reporting to an Assistant Manager, Manager, or Senior Manager, the role holder will assist the Director and Partner with meeting the annual business and growth plans as set out and agreed.

The role holder will be specifically tasked with supporting the Regulatory Consultancy team with the provision of regulatory services to a range of clients, providing support on project delivery, assisting with ad hoc queries and questions as they arise from both internal staff and clients.

The role will be one of a generalist, offering the role holder the opportunity to grow their knowledge in a number of areas. The role holder will be expected to undertake professional studies, working to complete the CISI Diploma in Investment Compliance (Level 6 Diploma).

The role holder is expected to work with supervision, in addition to being capable of executing tasks semi-autonomously and working as part of a project team to meet required reporting deadlines, project milestones, and providing timely updates and communication to clients, stakeholders and the assignment leader(s).

The role holder will be expected to undertake any other reasonable tasks as required by the Managers, Director and Partner.

Business Area Overview

  • Keep up to date with changes to FCA rules and guidance in terms of key changes and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and fact sheets;
  • Provide support to the Consultants in the team through participation in the following work: 
  • Reviewing financial promotions prepared by clients;
  • Draft Financial Promotions on behalf of clients;
  • Ensure compliance manuals are kept up to date, monitor programmes for necessary changes and report on any findings;
  • Assist senior staff with performing monitoring and reporting at clients’ premises;
  • Produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managers;
  • Assist with the preparation of FCA application packs, variation of permission notices and update of firms’ ICAAPs;
  • Assist with work required under FCA Risk Mitigation Programmes, Firm Systematic Framework visits and s166 reviews;
  • Assist in the preparation of internal and external courses to keep up to date with regulatory issues;
  • Promote and develop the department when possible;
  • Assist other members of the team with ad hoc questions on the FCA Handbook when required;
  • Take responsibility for communicating and disseminating regulatory intelligence on a daily basis;
  • Assist in the continual development of the Regulatory Consulting team through active contribution to the advancement of the proposition and the development of internal processes, systems and templates used in the delivery of client services by being one of the primary resources for the department’s Retained Services desk; and
  • Successfully study towards the CISI Diploma in Investment Compliance.

Requirements

Candidates must have, or be on course for the following grades (or international equivalent):

  • •A minimum 2.2 degree in any discipline;
  • •3 A Levels at grades A*- C, excluding General Studies and Extended Projects;
  • •A*- C at GCSE in Maths & English Language.
  • Willing to travel to clients (within London, nationally and potentially internationally);
  • Client focused; willing to go above and beyond to deliver timely, high standard client service;
  • Demonstrates ethical behaviours at all times;
  • Able to deal flexibly with work priorities and displays energy and enthusiasm; and
  • Sees the benefit of working outside of set hours to further their own career and help deliver on team objectives.

About BDO

BDO LLP is an accountancy and business advisory firm, we provide integrated advice and solutions to help businesses navigate a changing world. Our clients are Britain’s economic engine – ambitious, entrepreneurially-spirited and high growth businesses that fuel the economy.

We share our clients’ ambitions and their entrepreneurial mind-set. We have the right combination of global reach, integrity and expertise to help them succeed.

BDO LLP operates in 17 locations across the UK, employing 5000 people offering tax, audit and assurance, and a range of advisory services. BDO LLP has revenues of £590m and is the UK member firm of the BDO International network. The BDO global network provides business advisory services in 162 countries, with 80,000 people working out of 1,500 offices worldwide. It has revenues of $9bn.

BDO gives trainees all the training they need to attain their professional qualifications, along with extensive practical experience that includes on-site client work. The firm provides constant support to help you achieve your potential.

'Achieving My Potential' is BDO’s organisational framework. It is made up of 4 key elements – core competencies, technical competencies, values and attitude. In essence, what you do and how you do it.

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